SEC Form 4 · accession 0001209191-15-069989
Constant Contact, Inc. · CTCT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harpreet Grewal
Officer — EVP, Chief Financial Officer
Period of report
Sep 3, 2015
Accepted (ET)
Sep 9, 2015 · 7:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001405277
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 3, 2015 | M | 508 | — | A | 11,509 | D | |
| Common StockF1,F2 | Sep 6, 2015 | M | 717 | — | A | 12,226 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F1,F3 | — | Sep 3, 2015 | F | 452 | D | — | — | Common Stock | 452 | 9,146 | D |
| Restricted Stock UnitsF5,F1,F3 | — | Sep 3, 2015 | M | 508 | D | — | — | Common Stock | 508 | 8,638 | D |
| Restricted Stock UnitsF4,F1,F6 | — | Sep 6, 2015 | F | 637 | D | — | — | Common Stock | 637 | 2,071 | D |
| Restricted Stock UnitsF5,F1,F6 | — | Sep 6, 2015 | M | 717 | D | — | — | Common Stock | 717 | 1,354 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
- F2These shares are held jointly with Mr. Grewal's spouse.
- F325% of the restricted stock units vested on December 3, 2014, and an additional 6.25% of the restricted stock units will vest quarterly thereafter, such that 100% of the restricted stock units will be fully vested on December 3, 2017. Vested shares will be delivered to the reporting person within three business days after such shares become vested.
- F4The shares of common stock underlying the restricted stock units reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of such units.
- F5The restricted stock units reported as disposed herein were settled for shares of the issuer's common stock.
- F625% of the restricted stock units vested on December 6, 2012, and an additional 6.25% of the restricted stock units vest quarterly thereafter, such that 100% of the restricted stock units will be fully vested on December 6, 2015. Vested shares will be delivered to the reporting person within three business days after such shares become vested.